Investors apparently complained about securities broker Anthony Walia (also known as Tony Walia) [CRD: 2951490, Astoria, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Walia worked for multiple firms during his career, including TIAA-CREF Individual Institutional Services LLC from March 25, 2015, to November 13, 2020; LPL Financial LLC from February 1, 2021, to February 2, 2022; Fidelity Personal and Workplace Advisors from April 27, 2022, to March 31, 2025; and most recently, Strategic Advisers LLC beginning March 31, 2025. Read on to find out more about the disclosures connected with Walia.
Evidently, a client filed a complaint about Anthony Walia. The client alleged that Walia made unsuitable recommendations in relation to a rollover. Consequently, the investor allegedly incurred damages on mutual funds, fixed annuities, variable annuities, and a managed account. As a result, on February 11, 2025, TIAA-CREF Individual Institutional Services LLC settled this matter by paying the client $363,000 in damages.
Also, a client of TIAA-CREF Individual Institutional Services LLC disputed Anthony Walia’s sales practices, based on a complaint dated September 8, 2021. Allegedly, Walia mismanaged investment accounts. It appears that Walia allegedly caused the client to sustain damages relating to an investment plan involving mutual funds, variable annuities, and a managed account. Therefore, the client sought compensation from TIAA-CREF Individual Institutional Services LLC or Walia totaling damages believed to exceed $5,000 in this matter. This matter closed without a resolution.
Specifically, a client filed a complaint about Anthony Walia. Mainly, the client alleged that Walia failed to disclose information relating to investment transactions, resulting in undue capital gains taxes. Because of this, the client allegedly sustained damages connected to mutual funds and stocks. As a result, on May 21, 2018, TIAA-CREF Individual Institutional Services LLC settled this matter by paying the client $16,110 in damages.
Did you experience losses because of Anthony Walia? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group helps to recover losses for clients throughout the USA. The firm also works through a contingency fee arrangement and advances all costs. Walia and brokerage firms Walia worked for deny all allegations referenced in public disclosures.
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